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Enforcement action change
 
  This week - ending Jul 31, 2022
  Most recent 90 days - May 02, 2022 - Jul 31, 2022
  Previous 90 days - Jan 31, 2022 - May 01, 2022
 

SEC
9%

     
304 docs
 
  278 docs
 

FINRA
9%

    122 docs
 
  112 docs
 

FDIC
-10%

    27 docs
 
  30 docs
 

CFTC
-10%

    26 docs
 
  29 docs
 

OFAC
-40%

    43 docs
 
  72 docs
 

FTC
-55%

    73 docs
 
  161 docs
 

CFPB
N/A

    16 docs
 
  4 docs
 

TREAS
N/A

    3 docs
 
  5 docs
 

NYSE
N/A

    1 doc
 
  8 docs
 

FINCEN
N/A

     
 
  2 docs
 

NYSE Arca
N/A

     
 
  5 docs
 

OCC
N/A

     
 
  8 docs
 
See full report     See further insights

This week's documents

SEC 26 Enforcement Documents
$0.0 in Fines
Title: SEC Complaint, - Alan Z. Appelbaum
Doc Type: Enforcement
Published: 07/29/2022
Violation: -
Penalty: -
Title: Alan Z. Appelbaum
Doc Type: Enforcement
Published: 07/29/2022
Violation: -
Penalty: -

See all 26 Documents
FINRA 7 Enforcement Documents
$0.0 in Fines
Title: Joseph A. Ambrosole AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 07/28/2022
Violation: -
Penalty: -
Title: Wayne von Borstel AWCs (Letters of Acceptance, Waiver, and Consent)
Doc Type: AWCs (Letters of Acceptance, Waiver, and Consent)
Published: 07/28/2022
Violation: -
Penalty: -

See all 7 Documents
OFAC 1 Enforcement Document
$0.0 in Fines
Title: Russia-related Designations
Doc Type: Financial Sanction
Published: 07/29/2022
Violation: -
Penalty: -

See all 1 Document
CFPB 6 Enforcement Documents
$0.0 in Fines
Title: U.S. Bank National Association Stipulation
Doc Type: Injunction Order
Published: 07/28/2022
Violation: -
Penalty: -
Title: U.S. Bank National Association Consent order
Doc Type: Consent Order
Published: 07/28/2022
Violation: -
Penalty: -

See all 6 Documents
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